All United States articles – Page 8
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Blog
Shutts & Bowen partner named GC of Republican National Lawyers Association
Business law firm Shutts & Bowen announced that its Tallahassee Office Managing Partner, Benjamin Gibson, was appointed general counsel of the Republican National Lawyers Association.
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Cornell Capital promotes CCO to partner
Cornell Capital announced the promotion of Jennifer Cattier, who joined as chief operating officer and chief compliance officer in 2022, to partner.
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News BriefBankrupt retailer Express avoids fine in SEC understated CEO perks case
The Securities and Exchange Commission charged bankrupt fashion retailer Express with failing to disclose nearly $1 million in perks to a former chief executive, but did not levy a financial penalty thanks to its cooperation, the SEC said.
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Xilio Therapeutics appoints CLO
Biotechnology company Xilio Therapeutics announced the appointment of Caroline Hensley as chief legal officer.
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Koppers’ sustainability chief to retire
Koppers Holdings, an integrated global provider of treated wood products, wood treatment chemicals, and carbon compounds, announced the retirement of Leslie Hyde, senior vice president and chief sustainability officer, effective Mar. 31.
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R360 welcomes legal chief
R360, a global community for ultra-high-net-worth individuals, announced that Rich Cohen has joined its executive team as managing director of Member Experience and chief legal officer.
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California Hotel & Lodging Association names Pacific Hospitality GC to board
The California Hotel & Lodging Association welcomed Tony Zand, general counsel of Pacific Hospitality Group, to its board of directors.
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Option3 names ex-Bloomberg GC as operating partner
Cybersecurity private equity specialist Option3 appointed Karl Kilb III, former general counsel of Bloomberg, as operating partner, also naming him chief strategy officer for its new ENIGMA Zero Trust platform.
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PremiumSurvey: Organizations broadly adopting AI, with varied governance
The majority of businesses are using AI and doing so without governance–a compliance gap that poses extreme risks, a new survey by Compliance Week and GAN Integrity found. A webinar will discuss why it is crucial to have AI governance, how to implement it, and what strategies to strengthen programs. ...
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News BriefMinnesota transport company hit with sanctions violations for Cuba, Iran trade
A Minnesota transportation company agreed to pay nearly $258,000 to settle allegations that a subsidiaries violated sanctions against Cuba and Iran more than 80 times, the U.S. Treasury Department’s Office of Foreign Assets Control said.
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News BriefMcKinsey & Co. to pay $650M, improve compliance over opioid advice to Purdue Pharma
McKinsey & Co. will pay $650 million in penalties to the U.S. Department of Justice (DOJ) to settle charges that it advised Purdue Pharma on how to “turbocharge” the sale of Oxycontin in the middle of the U.S. opioid crisis.
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News BriefSeaCrest to pay $375K to settle charges that it failed to supervise rogue adviser
New York-based SeaCrest Wealth Management will pay a $375,000 fine for failing to properly prevent a cherry-picking scheme perpetrated by one of its investment advisers.
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News BriefSEC fines Cantor Fitzgerald $6.75M for failing to disclose pre-IPO talks
Financial services firm Cantor Fitzgerald will pay a $6.75 million fine to the Securities and Exchange Commission for making misleading statements regarding two special purpose acquisition companies that it controlled.
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News BriefU.S. Appeals Court overturns Nasdaq board diversity rule
A U.S. Appeals Court overturned a Securities and Exchange Commission rule that had required companies listed on the Nasdaq stock exchange to disclose whether their boards had women or minority members–and if not, why not.
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Habitat for Humanity International announces CLO
Housing organisation Habitat for Humanity International welcomed Tim Phillips as the organization’s new chief legal officer.
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Atmos Energy announces GC
Atmos Energy Corporation announced that Jessica Bateman Pulliam has been appointed to the position of senior vice president, general counsel and corporate secretary, effective Jan. 1.
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Healthcare Realty Trust announces GC
Healthcare Realty Trust Incorporated announced that Andrew Loope, senior vice president, corporate counsel and secretary, will be promoted to executive vice president, general counsel, and secretary.
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R.J. O’Brien names global CCO
R.J. O’Brien & Associates, an independent futures brokerage and clearing firm, announced the appointment of John Robbins to the new role of global chief compliance officer.
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Liberty Mutual Insurance names CCO
Liberty Mutual Insurance announced that Nicole Arangio has been named executive vice president and chief compliance officer, effective Apr 1.
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News BriefSEC fines Morgan Stanley $15M to settle allegations of theft of client funds
A lack of supervision and internal controls at Morgan Stanley Smith Barney allowed four of its investment advisers to steal millions from customers before the behavior was detected, the SEC said in charging the firm.